FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.
FINRA Dispute Resolution
Overview of Arbitration & Mediation | Options for Investors | Additional Resources | More on FINRA Dispute Resolution
Arbitration
Arbitration Overview | Arbitration Process | Rules | Fees | Special Procedures
Arbitrators
Become an Arbitrator | Responsibilities | Case Guidance & Resources | Administrative Resources | Arbitrator Training
Mediation
Mediation Overview | Mediation Process | Mediation Rules | Mediation Fees
Mediators
Become a Mediator | Case Resources | Administrative Resources | Responsibilities
What's New
Regulatory Notice
Statistics
Dispute Resolution Statistics – April 2013
Regulatory Notice 13-04
Subpoenas and Orders to Appear or Produce Documents
News Release
FINRA Launches Small Claims Telephonic Mediation Pilot Program
Rule Filing
Arbitration Process
- File a Claim
- Answer a Claim
- Arbitrator Selection
- Prehearing Conferences
- Discovery
- Hearings
- Decision & Awards
More Resources
- File an Investor Complaint or Whistleblower Tip
- Investors Representing Themselves
- Dispute Resolution Statistics
- Frequently Asked Questions
- Glossary of Arbitration Terms
- Publicaciones en Español
- Dispute Resolution News Releases
- Arbitration Evaluation Form
- Arbitrator Experience Survey
Most Viewed
- Arbitration Awards Online
- Code of Arbitration Procedure
- Arbitration Online Claim Filing
- Decision & Awards
- Discovery
- Dispute Resolution Statistics
- Required Basic Arbitrator Training
- Office and Hearing Locations
- Arbitrator Application
- Estimate Arbitration Fees
- Customer and Industry Code Deadlines
- Expungement